8208 Federal Register / Vol. 72, No. 36 / Friday, February 23, 2007 / Notices 

organized as management investment 

companies that offer annuity contracts 

to provide investors with a prospectus 

containing information required in a 

registration statement prior to the sale or 

at the time of confirmation of delivery 

of securities. The form also may be used 

by the Commission in its regulatory 

review, inspection, and policy-making 

roles. 

The Commission estimates that there 

are 2 initial registration statements and 

30 post-effective amendments to initial 

registration statements filed on Form N–

3 annually and that the average number 

of portfolios referenced in each initial 

filing and post-effective amendment is 

2. The Commission further estimates 

that the hour burden for preparing and 

filing a post-effective amendment on 

Form N–3 is 154.7 hours per portfolio. 

The total annual hour burden for 

preparing and filing post-effective 

amendments is 9,282 hours (30 posteffective amendments × 2 portfolios × 

154.7 hours per portfolio). The 

estimated annual hour burden for 

preparing and filing initial registration 

statements is 3,690.8 hours (2 initial 

registration statements × 2 portfolios × 

922.7 hours per portfolio). The total 

annual hour burden for Form N–3, 

therefore, is estimated to be 12,972.8 

hours (9,282 hours + 3,690.8 hours). 

The information collection 

requirements imposed by Form N–3 are 

mandatory. Responses to the collection 

of information will not be kept 

confidential. An agency may not 

conduct or sponsor, and a person is not 

required to respond to a collection of 

information unless it displays a 

currently valid control number 

Written comments are invited on: (a) 

Whether the proposed collection of 

information is necessary for the proper 

performance of the functions of the 

agency, including whether the 

information will have practical utility; 

(b) the accuracy of the agency’s estimate 

of the burden of the collection of 

information; (c) ways to enhance the 

quality, utility, and clarity of the 

information collected; and (d) ways to 

minimize the burden of the collection of 

information on respondents, including 

through the use of automated collection 

techniques or other forms of information 

technology. Consideration will be given 

to comments and suggestions submitted 

in writing within 60 days of this 

publication. 

Please direct your written comments 

to R. Corey Booth, Director/Chief 

Information Officer, Securities and 

Exchange Commission, C/O Shirley 

Martinson, 6432 General Green Way, 

Alexandria, Virginia 22312 or send an email to: PRA_Mailbox@sec.gov. 

February 14, 2007. 

Florence E. Harmon, 

Deputy Secretary. 

[FR Doc. E7–3092 Filed 2–22–07; 8:45 am] 

BILLING CODE 8010–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

Submission for OMB Review; 

Comment Request 

Upon Written Request Copies Available 

From: Securities and Exchange 

Commission, Office of Filings and 

Information Services, Washington, DC 

20549–0004. 

Extension: Form 1-E, Regulation E; SEC File 

No. 270–221; OMB Control No. 3235–

0232. 

Notice is hereby given that, pursuant 

to the Paperwork Reduction Act of 1995 

(44 U.S.C. 3501 et seq.), the Securities 

and Exchange Commission (the 

‘‘Commission’’) has submitted to the 

Office of Management and Budget 

(‘‘OMB’’) a request for extension of the 

previously approved collection of 

information discussed below. 

Form 1–E (17 CFR 239.200) under the 

Securities Act of 1933 (15 U.S.C. 77a et 

seq.) (‘‘Securities Act’’) is the form that 

a small business investment company 

(‘‘SBIC’’) or business development 

company (‘‘BDC’’) uses to notify the 

Commission that it is claiming an 

exemption under Regulation E from 

registering its securities under the 

Securities Act. Rule 605 of Regulation E 

(17 CFR 230.605) under the Securities 

Act requires an SBIC or BDC claiming 

such an exemption to file an offering 

circular with the Commission that must 

also be provided to persons to whom an 

offer is made. Form 1–E requires an 

issuer to provide the names and 

addresses of the issuer, its affiliates, 

directors, officers, and counsel; a 

description of events which would 

make the exemption unavailable; the 

jurisdiction in which the issuer intends 

to offer its securities; information about 

unregistered securities issued or sold by 

the issuer within one year before filing 

the notification on Form 1–E; 

information as to whether the issuer is 

presently offering or contemplating 

offering any other securities; and 

exhibits, including copies of the rule 

605 offering circular and any 

underwriting contracts. 

The Commission uses the information 

provided in the notification on Form 1–

E and the offering circular to determine 

whether an offering qualifies for the 

exemption under Regulation E. It is 

estimated that approximately ten issuers 

file notifications, together with attached 

offering circulars, on Form 1–E with the 

Commission annually. The Commission 

estimates that the total burden hours for 

preparing these notifications would be 

1,000 hours in the aggregate. Estimates 

of the burden hours are made solely for 

the purposes of the PRA, and are not 

derived from a comprehensive or even 

a representative survey or study of the 

costs of SEC rules and forms. 

Compliance with the information 

collection requirements of the rules is 

necessary to obtain the benefit of relying 

on the rules. The information provided 

on Form 1–E and in the offering circular 

will not be kept confidential. An agency 

may not conduct or sponsor, and a 

person is not required to respond to, a 

collection of information unless it 

displays a currently valid OMB control 

number. 

General comments regarding the 

above information should be directed to 

the following persons: (i) Desk Officer 

for the Securities and Exchange 

Commission, Office of Information and 

Regulatory Affairs, Office of 

Management and Budget, Room 10102, 

New Executive Office Building, 

Washington, DC 20503, or email to: 

David_Rostker@omb.eop.gov; and (ii) R. 

Corey Booth, Director/Chief Information 

Officer, Securities and Exchange 

Commission, C/O Shirley Martinson, 

6432 General Green Way, Alexandria, 

VA 22312; or send an e-mail to: 

PRA_Mailbox@sec.gov. Comments must 

be submitted to OMB within 30 days of 

this notice. 

Dated: February 16, 2007. 

Jill M. Peterson, 

Assistant Secretary. 

[FR Doc. E7–3097 Filed 2–22–07; 8:45 am] 

BILLING CODE 8010–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

Submission for OMB Review; 

Comment Request 

Upon Written Request, Copies Available 

From: Securities and Exchange 

Commission, Office of Filings and 

Information Services, Washington, DC 

20549. 

Extension: Rule 17f–6; SEC File No. 270–392; 

OMB Control No. 3235–0447. 

Notice is hereby given that, under the 

Paperwork Reduction Act of 1995 (44 

U.S.C. 3501–3520), the Securities and 

Exchange Commission (the 

‘‘Commission’’) has submitted to the 

Office of Management and Budget 

(‘‘OMB’’) a request for extension of the 


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